ERC Frontier Research Grants
Information for Applicants to the
Starting and Consolidator Grant 2016
Calls
1 September 2015
This document is published by the ERC Scientific Council on http://erc.europa.eu
It can also be downloaded from the Research and Innovation Participant Portal on
http://ec.europa.eu/research/participants/portal/
EUROPEAN COMMISSION
Horizon 2020 Specific Programme Part 1
Purpose of this document
This document provides practical information to potential applicants in preparing and submitting an application for an ERC Starting or Consolidator Grant.
The document is divided into two parts: 1: Applying for an ERC Grant 2: Annexes
The present document is based on the legal documents setting the rules and conditions for the ERC frontier research grants, in particular the ERC Work Programme 20161, the revised ERC Rules for the submission of proposals and the related evaluation, selection and award procedures relevant to the Specific Programme of H2020 – the Framework programme for Research and Innovation (2014-2020)2 (hereinafter ERC Rules for Submission), and the ERC Model Grant Agreement. This document does not supersede the afore-mentioned documents, which are legally binding. Should there be any discrepancies between the aforementioned legal documents and this document, the former will prevail. The European Commission, the ERC Executive Agency or any person or body acting on their behalf cannot be held responsible for the use made of this document.
This ‘Information for Applicants’ document may be further modified based on the experiences gained from preceding calls for proposals, on changes applied to the frontier research grants and the submission processes.
Note: As with other parts of the EU's Horizon 2020 Framework Programme, National Contact Points (ERC NCPs) have been set up across Europe3 by the national governments to provide information and personalised support to ERC applicants in their native language. The mission of the ERC NCPs is to raise awareness, inform and advise on ERC funding opportunities as well as to support potential applicants in the preparation, submission and follow-up of ERC grant applications. For details on the ERC NCP in your country please consult the ERC website at http://erc.europa.eu/national-contact-points
or the Participant Portal at
https://ec.europa.eu/research/participants/portal/desktop/en/support/national_contact_points.html
Updates to this document compared to the version of 29 July 2015
- pgs. 3 & 25 – Clarification that references do not count towards the page limit for Part B2.
1
European Commission C(2015) 5086 of 28 July 2015. 2
C(2015)4975 of 23 July 2015. 3
Highlights of important new features related to proposal submission and
evaluation for the ERC Starting and Consolidator Grant 2016 calls
Restrictions on applications will apply to the 2016 calls based on the outcome of the
evaluation of previous calls – see ‘Restrictions on submission of proposals’ below. NB
Principal Investigators whose proposal was evaluated as category B at step 2 in the ERC
Starting, Consolidator or Advanced Grant calls for proposals under Work Programme 2015
will not be subject to restrictions in calls for proposals made under Work Programme 2016.
New restrictions on applications will also apply to Principal Investigators whose proposals
have been rejected on grounds of breach of research integrity.
Revision to the panel titles and keywords in the Social Sciences and Humanities Domain –
see Annex I to this document.
TABLE OF CONTENTS
PURPOSE OF THE DOCUMENT ... 2
1: APPLYING FOR AN ERC STARTING OR CONSOLIDATOR GRANT ... 5
1.1 PREPARING AND SUBMITTING AN ERC STARTING OR CONSOLIDATOR GRANT APPLICATION ... 6
1.1.1 Objectives and principles of ERC Starting and Consolidator Grants 2016 ... 6
1.1.2 How to complete the grant application ... 12
1.1.2.1 Completing the online administrative Proposal Submission Forms ... 12
1.1.2.2 Instructions for completing 'Part B' of the proposal ... 24
1.1.2.3 Supporting Documentation ... 30
1.1.3 How to submit the grant application ... 32
1.1.3.1 Modifying or withdrawing a proposal ... 38
1.2 EVALUATION AND SELECTION OF GRANT PROPOSALS... 39
1.2.1 Eligibility Check ... 39
1.2.2 Peer review evaluation of proposals ... 40
1.2.2.1 The ERC evaluation panels ... 41
1.2.3 Ethics Review ... 42
1.2.4 Outcome of evaluation ... 43
1.2.5 Feedback to applicants ... 44
1.2.5.1 Evaluation Review Procedure ... 44
2: ANNEXES ... 46
ANNEX 1: ERC PEER REVIEW EVALUATION PANELS (ERC PANELS) ... 47
Social Sciences & Humanities ... 47
Physical Sciences & Engineering ... 49
Life Sciences ... 53
ANNEX 2: COMMITMENT OF THE HOST INSTITUTION ... 57
ANNEX 3: PHD AND EQUIVALENT DOCTORAL DEGREES ... 60
1: Applying for an ERC Starting or
1.1
Preparing and submitting an ERC Starting or Consolidator Grant
application
1.1.1 Objectives and principles of ERC Starting and Consolidator Grants 2016
The ERC Work Programme 2016 sets out the objectives and principles of ERC funding. ERC Starting and Consolidator Grants are designed to support excellent Principal Investigators (PIs) at the career stage at which they are starting or consolidating their own independent research team or programme. Principal Investigators must demonstrate the ground-breaking nature, ambition and feasibility of their scientific proposal. ERC grants are open to researchers of any nationality who intend to conduct their research activity in any EU Member State4 or Associated Country5.The ERC's frontier research grants operate on a 'bottom-up' basis without predetermined priorities. Applications can be made in any field of research with particular emphasis on the frontiers of science, scholarship and engineering6. In particular, proposals of an interdisciplinary nature, which cross the boundaries between different fields of research, pioneering proposals addressing new and emerging fields of research or proposals introducing unconventional, innovative approaches and scientific inventions are encouraged.
The calls 'ERC-2016-STG' and 'ERC-2016-COG' consists of one call each with a single deadline applying to the three main research domains: Physical Sciences & Engineering (Panels PE1-PE10), Life Sciences (Panels LS1-LS9), and Social Sciences & Humanities (Panels SH1 – SH6). The guiding principles of the ERC Starting and Consolidator Grants are highlighted in Box 1.
4
The EU Member States are: Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, the Netherlands, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, and United Kingdom.
5
The Associated Countries are: Albania, Bosnia and Herzegovina, Faroe Islands, the former Yugoslav Republic of Macedonia, Iceland, Israel, Montenegro, Norway, Moldova, Serbia and Turkey. Other countries may become associated during the course of H2020. The association of Switzerland to specific programmes of Horizon 2020 allows for applicants with Swiss host institutions to apply to the ERC as from 15 September 2014. Please check the online manual for up-to-date information on the current position for Associated Countries.
6
Research proposals within the scope of Annex I of the EURATOM Treaty directed toward nuclear energy applications should be submitted to relevant calls under the Research and training programme of the European Atomic Energy Community (2014-18) complementing Horizon 2020 Framework Programme for Research and Innovation (Council Regulation (EURATOM) No 1314/2013, OJ L 347, 20.12.2013, p. 948).
Box 1 Guiding principles of the ERC Starting and Consolidator Grants
Scientific excellence is the sole criterion on the basis of which ERC frontier research grants are awarded.
Applications can be made in any field of research.
Individual research teams led by a single PI can apply for funding.
Principal Investigators from anywhere in the world can apply for an ERC grant.
The ERC's frontier research grants aim to empower individual researchers and provide the best settings to foster their creativity.
Grants are awarded to the host institution that engages and hosts the PI. The PI will be employed by the host institution.
Host institutions must provide conditions for the PI independently to direct the research and manage its funding.
The ERC supports projects, which are carried out by individual research teams headed by a single Principal Investigator (PI) of any nationality. These teams may be of national or trans-national character. With the focus on the PI, the concept of individual team is fundamentally different from that of a traditional 'network' or 'research consortium'; proposals of the latter type should not be submitted to the ERC. In certain fields (e.g. in the humanities and mathematics), where research is often performed individually, the 'team' may consist solely of the Principal Investigator.
The PI does not need to be employed by the host institution at the time when the proposal is submitted. If not already employed by the host institution, the PI must be engaged by the latter at least for the duration of the grant7 .
With the support of the host institution, successful PIs will be expected to lead their individual teams. The PI must be strongly committed to the project and devote a significant amount of time to it. Principal Investigators funded through the ERC Starting and Consolidator Grants will be expected to spend a minimum 50% for Starting Grants and 40% for Consolidator Grants of their total working time on the ERC project and a minimum of 50% of their total working time in an EU Member State or Associated Country8.
Size of ERC Starting and Consolidator Grants
Starting Grants can be up to a maximum of EUR 1 500 000 for a period of 5 years (pro rata for projects of shorter duration). Consolidator Grants can be up to a maximum of EUR 2 000 000 for a period of 5 years (pro rata for projects of shorter duration).
However, up to an additional EUR 500 000 for Starting Grants and EUR 750 000 for Consolidator Grants can be requested in the proposal to cover:
(a) eligible "start-up" costs for Principal Investigators moving to the EU or an Associated Country from elsewhere as a consequence of receiving the ERC grant (b) and/or the purchase of major equipment and/or (c) access to large facilities9.
The European Union financial contribution will take the form of the reimbursement of up to 100% of the total eligible and approved direct costs and of a flat-rate financing of indirect costs corresponding to 25%10 of the total eligible direct costs11.
Profile of the ERC Starting and Consolidator Grant Principal Investigator
Starting Grant Consolidator Grant Specific Eligibility
Criteria
The principal Investigator shall have been awarded his/her first PhD
≥ 2 and ≤ 7 years prior to 1 January 2016
The principal Investigator shall have been awarded his/her first PhD
> 7 and ≤ 12 years prior to 1 January 2016
7
Normally the Principal Investigator will be employed by the host institution, but cases where, for duly justified reasons, the Principal Investigator's employer cannot become the host institution, or where the Principal Investigator is self-employed, can be accommodated. The specific conditions of engagement will be subject to clarification and approval during the granting procedure or during the amendment procedure for a change of host institution.
8
A specification about the PI's commitment should be provided in Part B2 of the research proposal. 9
As any additional funding is to cover major one-off costs it is not subject to pro-rata reduction for projects of shorter duration. All funding requested is assessed during evaluation.
10
In H2020 it is not possible to ask lower percentages for the indirect costs. 11
Excluding the direct costs for subcontracting and the costs of resources made available by third parties, which are not used on the premises of the host institution.
The effective elapsed time since the award of the first PhD taken into consideration for eligibility can be reduced in certain properly documented circumstances where they apply to the Principal Investigator (please see ERC Work Programme 2016 under the heading 'Eligible Principal Investigator' for further details).
A competitive Starting Grant candidate must have already shown the potential for research independence and evidence of maturity. For example, it is expected that applicants will have produced at least one important publication without the participation of their PhD supervisor. A competitive Consolidator Grant candidate must have already shown research independence and evidence of maturity. For example, it is expected that applicants will have produced several important publications without the participation of their PhD supervisor.
Principal Investigators should also be able to demonstrate a promising track record of early achievements appropriate to their research field and career stage, including significant publications (as main author) in major international peer-reviewed multidisciplinary scientific journals, or in the leading international peer-reviewed journals of their respective field. They may also demonstrate a record of invited presentations in well-established international conferences, granted patents, awards, prizes etc. For further information please see the ERC Work Programme 2016 and the ‘Instructions for completing Part B of the proposal’ in this document.
Applicants are encouraged to evaluate their track-record and leadership potential against the above-mentioned benchmarks that have been adopted by the Scientific Council, in order to decide for themselves their likelihood for success, thus avoiding investing effort in proposals that are very unlikely to succeed.
Eligible Host Institutions
The host institution must engage the Principal Investigator for at least the duration of the project, as defined in the grant agreement. It must either be established in an EU Member State or Associated Country as a legal entity created under national law, or it may be an International European Interest Organisation (such as CERN, EMBL, etc.), the European Commission's Joint Research Centre (JRC) or any other entity created under EU law. Any type of legal entity, public or private, including universities, research organisations and undertakings can host Principal Investigators and their teams. The ERC welcomes applications from Principal Investigators hosted by private for-profit research centres, including industrial laboratories.
Ethical Issues
Some frontier research activities and methodologies may have ethical implications or may raise questions which will require sound ethical assessment in order to ensure that research supported by an ERC grant respects the fundamental ethical principles (see point 1.2.3 and Annex 4 to this document).
Research Integrity
Cases of scientific misconduct such as fabrication, falsification, plagiarism or misrepresentation of data will be considered as breaches of fundamental ethical principles and may result in the rejection of proposals in accordance with section 3.11 of the ERC Rules for Submission. Plagiarism detection software may be used to analyse proposals submitted to the ERC.
Restrictions on submissions of proposals
The restrictions for submission under the ERC Work Programme 2016 are set out below. The Scientific Council may decide in the light of experience that different restrictions will apply in subsequent years.
The year of an ERC call for proposals refers to the Work Programme under which the call was made and can be established by its call identifier. A 2015 ERC call for proposals is therefore one that was made under the Work Programme 2015 and will have 2015 in the call identifier (for example ERC-2015-StG). Ineligible or withdrawn proposals do not count against any of the following restrictions (please consult the ERC Rules for Submission, section 2.2).
A Principal Investigator may submit proposals to different ERC frontier research grant calls made under the same Work Programme, but only the first eligible proposal will be evaluated. A Principal Investigator whose proposal was evaluated as category A in the Starting,
Consolidator or Advanced Grant calls for proposals under Work Programme 2015 may submit a proposal to the Starting, Consolidator or Advanced Grant calls for proposals made under Work Programme 2016.
A Principal Investigator whose proposal was evaluated as category B at step 2 in the Starting, Consolidator or Advanced Grant calls for proposals under Work Programme 2015 may submit a proposal to the Starting, Consolidator or Advanced Grant calls for proposals made under Work Programme 2016.
A Principal Investigator whose proposal was evaluated as category B at step 1 in the Starting, Consolidator or Advanced Grant calls for proposals under Work Programme 2015 may not submit a proposal to the Starting, Consolidator or Advanced Grant calls for proposals made under Work Programme 2016.
A Principal Investigator whose proposal was evaluated as category C in the Starting, Consolidator or Advanced Grant calls for proposals under Work Programmes 2014 or 2015 may not submit a proposal to the Starting, Consolidator or Advanced Grant calls for proposals made under Work Programme 2016.
A Principal Investigator whose proposal was rejected on the grounds of a breach of research integrity in the calls for proposals under Work Programmes 2014 or 2015 may not submit a proposal to the calls for proposals made under Work Programme 2016.
A researcher may participate as Principal Investigator or Co-Investigator12 in only one ERC frontier research project at any one time13.
12
Projects with Co-Investigators were supported under the Advanced Grant in ERC Work Programmes from 2008 – 2011. A Co-Investigator was a team-member of the Principal Investigator with particular research responsibilities.
13
A new frontier research project can only start after the duration of the project fixed in a previous frontier research grant agreement has ended.
A researcher participating as Principal Investigator in an ERC frontier research project may not submit a proposal for another ERC frontier research grant, unless the existing project ends14 no more than two years after the call deadline.
A Principal Investigator who is a serving Panel Member for a 2016 ERC call or who served as a Panel Member for a 2014 ERC call may not apply to a 2016 ERC call for the same type of grant15.
The restrictions related to the outcome of the evaluation in previous calls are designed to allow unsuccessful Principal Investigators the time necessary to develop a stronger proposal.
14
According to the duration of the project fixed in the previous frontier research grant agreement. 15
Preparing and submitting an ERC Starting or Consolidator Grant application
16 ERC grant applications can be submitted only in response to a 'call for proposals'. Calls announced in the ERC Work Programme 2016 are published on the ERC website17, the Research and Innovation Participant Portal18, and in the Official Journal of the European Union19.A single submission deadline is foreseen for all scientific domains: ERC-2016-STG: 17 November 2015, 17.00.00 (Brussels local time)
ERC-2016-COG: 2 February 2016, 17.00.00 (Brussels local time)
Please note that the foreseen submission deadlines could be modified after the publication of the calls. You are therefore invited to periodically consult the Research and Innovation Participant Portal17 where any modifications of the submission deadlines are indicated.
16
The working language of the ERC evaluation panels is English. Please note that accordingly the evaluation reports will be available in English only. If the proposal is not in English, a translation of the full proposal would be of assistance to the experts. An English translation of the abstract must be included in the proposal.
17 http://erc.europa.eu/ 18 http://ec.europa.eu/research/participants/portal 19 http://eur-lex.europa.eu/JOIndex.do?ihmlang=en
1.1.2 How to complete the grant application
1.1.2.1
Completing the online administrative Proposal Submission Forms
20Proposals must be submitted electronically via the web-based Participant Portal Submission Service (PPSS)21. Please read point 1.1.3 of this document before starting the pre-registration process. In the submission forms, the PI is asked to fill in the administrative data online that will be used in the evaluation and further processing of the proposal. The administrative forms are an integral part of the proposal22 and are divided in 5 Sections:
1 – General Information
2 – Administrative data of participating organisations 3 – Budget
4 – Ethics
5 – Call specific questions
Section 1 – General Information contains information about the research proposal, including an abstract of the project proposal and the chosen ERC panel for evaluation. The PI must indicate the most relevant ERC panel for evaluation of his/her proposal and choose one or more ERC keywords related to the research fields involved from a drop-down menu (see Annex 1 to this document for the full list of ERC keywords). Furthermore, section 1 contains declarations related to the proposal and the participation in H2020.
Section 2 – Administrative data of participating organisations contains information about the PI and the PI's host institution23.
Section 3 – Budget contains information about the total estimated project costs and the requested EU contribution. The amount given in the online financial form (section 3) must correspond exactly to the information provided in the research proposal text (Part B2, section c, resources).
Section 4 – Ethics serves to identify any ethical aspects of the proposed work. This table has to be completed even if there are no issues (simply confirm that none of the ethical issues apply to the proposal). Please note that, in case you answer YES to any of the questions, you are requested to provide an Ethics Self-Assessment and additional ethics documentation – if applicable, as detailed in the Ethics Issues Table checklist (in Annex 4 to this document).
Section 5 – Call specific questions contain information on the academic training of the PI, as well as declarations related to eligibility, and permission statements on related questions (the data-related consents are entirely voluntary). Also, in section 5, as established in section 3.3 of the ERC Rules for Submission, applicants submitting a proposal may request that up to three specific persons would not act as peer reviewers in the evaluation of their proposal.
20
The Specific Privacy Statement on the protection of personal data related to the 'ERC-Proposals Evaluation, Grants Management and Follow-up' is available on the ERC website. Applicants are reminded not to provide irrelevant and excessive data (mainly with regards to health data).
21
For General user guidance please refer to the User Guide of the Submission Service.
The H2020 Online Manual ( http://ec.europa.eu/research/participants/docs/h2020-funding-guide/grants/applying-for-funding/submit-proposals_en.htm) describes the standard process of proposal submission. The 'IT HOW TO' wiki site provides an online IT manual with screenshots.
22
Details of the scientific project are described in the research proposal, Parts B1 and B2. 23
The filling of additional section 2 forms, corresponding to other beneficiaries e.g. institutions of team members ('additional participants'), may be necessary.
The following notes are for information only. They should assist you in completing the online proposal submission forms. Online guidance will also be available. The precise questions and options presented in PPSS may differ slightly from these below.
Please regularly consult the Research and Innovation Participant Portal call page for updated information or contact the PPSS Service Desk by using the Horizon 2020 Help Desk http://ec.europa.eu/research/index.cfm?pg=enquiries or the Participant Portal IT Helpdesk http://ec.europa.eu/research/participants/api/contact/index.html or by contacting the SEP helpdesk on +32 (2) 29 92222.
1 – General information (notes for information only)
* Failure to respond to the mandatory fields below will block the submission.
Topic [pre-filled]
Chosen upfront on the participant portal call page, either ERC-2016-STG or ERC-2016-COG.
Call identifier
[pre-filled]
The call identifier is the reference number given in the call or part of the call you are applying for, as indicated in the publication of the call in the Research and Innovation Participant Portal – H2020 Calls. A call identifier looks like this: ERC-2016-STG or ERC-2016-COG.
Type of Action [pre-filled]
Definition for 'type of action', either ERC-STG or ERC-COG. Proposal
Number
[pre-filled]
Proposal Acronym*
[pre-filled but editable]
The short title or acronym will be used to identify your proposal efficiently in this call. It should be of no more than 20 characters (use standard alphabet and numbers only; no spaces, symbols or special characters please).
The same acronym should appear on each page of the research proposal.
Proposal Title (max. 200
characters) (non-confidential
information)*
The title should be no longer than 200 characters and should be understandable to the non-specialist in your field.
In order to best review your application, your agreement is needed below so that this non-confidential title can be used when contacting potential reviewers, should your proposal be retained for step 2 of the evaluation process.
Duration in
Primary ERC Review Panel*
[drop-down menu]
Please choose the primary ERC review panel ('Targeted Review Panel') by which you would like your proposal to be evaluated.
The full list of ERC review panels is in Annex 1 to the ERC Work Programme 2016.
It is the PI's responsibility to choose the most relevant ERC panel ('primary review panel') for the evaluation of the proposed research. The initial allocation of the proposals to the various panels will be based on the expressed preference of the PI. In the case of cross-panel/cross-domain proposals the PI may indicate a 'secondary review panel'. The primary panel will then decide whether the proposal is indeed cross-panel or even cross-domain and if its evaluation requires expertise from other panels.
Despite the initial allocation being based on the preference of the PI, when necessary due to the expertise required for the evaluation, proposals may be reallocated to different panels during the course of the peer review evaluation.
Secondary ERC Review Panel (if applicable)
[drop-down menu]
You can choose a secondary ERC review panel that you consider most relevant to your proposal. The choice of a 'Secondary ERC Review Panel' is optional.
The full list of ERC review panels is in Annex 1 to the ERC Work Programme 2016. ERC
Keyword 1 (please choose this keyword from those linked to the Primary ERC Review
Panel)*
[drop-down menu]
Please select ERC keywords (as indicated in the ERC review panel list - Annex 1 to this document) that best characterise the subject of your proposal. As first keyword please choose one which is linked to the Primary Review Panel.
ERC Keywords 2, 3, 4
[drop-down menu]
You can select additional ERC keywords (as indicated in the ERC review panel list - Annex 1 to this document) that best characterise the subject of your proposal. You don't need to limit your choice of ERC keywords to your choice of specific review panel(s). Keywords 2, 3 and 4 are optional.
Free Keywords
In addition, please enter free text keywords that you consider best characterise the scope of your research proposal. The choice of keywords should take into account any multi-disciplinary aspects of the proposal.
You can also use keywords from other specific classification systems, provided that the actual describing text is included. For example, applicants to the 'PE1 - Mathematics' panel may want to use the Mathematics Subject Classification system, and can then enter a text like 'MSC2010: 51Hxx Topological geometry'. There is a limit of 200 characters.
Abstract (min.100/ max. 2000 char.) (non-confidential information)*
The abstract should, at a glance, provide the reader with a clear understanding of the objectives of the research proposal and how they will be achieved. The abstract will be used as the short description of your research proposal in the evaluation process and in communications to contact in particular the ERC experts and/or inform the Commission and/or the programme management committees and/or relevant national funding agencies (see also Data-Related Questions below.). It must therefore be short and precise and should not contain confidential information.
Please use plain typed text, avoiding formulae and other special characters. The abstract must be written in English. There is a limit of 2000 characters (spaces and line breaks included). In order to best review
your application, do you agree that the above non confidential
proposal title and abstract can be used, without disclosing your
identity, when contacting potential
reviewers?*
[Yes/No] – In the course of the evaluation procedure, the non-confidential title and abstract of your proposal may be communicated to potential remote ERC experts, in particular should your proposal be retained for step 2 of the evaluation process. Please specify your agreement or disagreement.
Has this proposal (or a very similar one) been
previously submitted/funded to a
call for proposals of FP7/Horizon 2020/other EU
programmes?
[Yes/No] – Please give the proposal reference or contract number if the reference is known.
Failure to respond to the first question below will block the submission. Please select the applicable response in point 4.
Declarations 1) The Principal Investigator declares to have the explicit consent
of all applicants on their participation and on the content of this proposal.*
[Yes/No] 2) The Principal Investigator declares that the information
contained in this proposal is correct and complete. [Yes/No] 3) The Principal Investigator declares that this proposal complies
with ethical principles (including the highest standards of research integrity — as set out, for instance, in the European Code of Conduct for Research Integrity — and including, in particular, avoiding fabrication, falsification, plagiarism or other research
misconduct).
[Yes/No]
4) The Principal Investigator hereby declares that: - in case of multiple participants in the proposal, the coordinator
has carried out the self-check of the financial capacity of the organisation on
https://ec.europa.eu/research/participants/portal4/desktop/en/ organisations/lfv.html or to be covered by a financial viability check in an EU project for the last closed financial year. Where the
result was “weak” or “insufficient”, the coordinator confirms being aware of the measures that may be imposed in accordance
with the H2020 Grants Manual (Chapter on Financial capacity check).
- in case of multiple participants in the proposal, the coordinator is exempt from the financial capacity check being a public body
including international organisations, higher or secondary education establishment or a legal entity, whose viability is guaranteed by a Member State or associated country, as defined in the H2020 Grants Manual (Chapter on Financial capacity check).
- in case of a sole participant in the proposal, the applicant is exempt from the financial capacity check.
[Yes/No] – Please tick the one declaration (out of three options) that is applicable to your proposal.
5) The Principal Investigator hereby declares that each applicant has confirmed:
to have the financial and operational capacity to carry out the proposed action.
Where the proposal is to be retained for EU funding, each beneficiary applicant will be required to present a formal
declaration in this respect.
[Yes/No] – The Principal Investigator is only responsible for the correctness of the information relating to his/her own organisation. Each applicant remains responsible for the correctness of the information related to him and declared above. Where the proposal is to be retained for EU funding, the coordinator and each beneficiary applicant will be required to present a formal declaration in this respect.
2 – Administrative data of participating organisations (notes for information only)
The first sub-section lists the participating organisations. The first form is given for the host institution. If other organisations are involved, additional fields will appear for each partner organisation added in Step 4 of the online submission system. For each institution many fields will be read-only data as registered and/or validated in the central registry of organisations of the European Commission, linked to the given PIC number in the Beneficiary Register (previously the URF).Host Institution (applicant legal entity)
Host Institution
Participant Identification Code (PIC)
[pre-filled] – The Participant Identification Code (PIC) enables organisations to take advantage of the Participant Portal. PIC numbers are necessary for the submission of proposals. By entering a PIC, section 2 will be filled in automatically. An online tool to search for existing PICs and the related organisations is available at
http://ec.europa.eu/research/participants/portal/desktop/en/organisations/register.ht ml. Organisations not yet having a PIC must self-register (via the same page) before submitting the proposal. Failure to do so will block the submission of your proposal.
HI Legal name
[pre-filled]
HI Short name
[pre-filled]
Address of the organisation Street [pre-filled] Town [pre-filled] Postcode [pre-filled] Country [pre-filled] Webpage [pre-filled]
Legal Status of your organisation Legal person [pre-filled] Public body [pre-filled] Non-profit [pre-filled] International organisation [pre-filled]
International organisation of European
interest [pre-filled]
Secondary or Higher education
establishment [pre-filled]
Small and Medium-sized Enterprises (SMEs)
[pre-filled]
Research organisation [pre-filled]
NACE Code
Departments Carrying out the Proposed Work Department/Faculty/
Institute/Lab Name
Please indicate the address of the main department(s)/institute(s)/ unit(s) (max. 3) that belongs to the same legal entity carrying out the work. Please use Latin characters. Use the 'Add a Department' button to add additional departments or units within the same institution, if necessary.
Street Please enter the street name and number where the
department/faculty/institute/laboratory is located, in English.
Town The town where the department/faculty/institute/laboratory is located, in English
(please avoid any district codes).
Postcode Please add here the district code.
Country The country where the department/faculty/institute/laboratory is located, in English.
Principal Investigator (PI)
The following information of the Principal Investigator is used to personalise the communications to applicants and the Evaluation Reports. Please make sure that your personal information is accurate and please inform the ERCEA in case your e-mail address changes (by using the call specific e-mail addresses ERC-2016-STG-APPLICANTS@ec.europa.eu or ERC-2016-COG-APPLICANTS@ec.europa.eu). The name and e-mail of the Principal Investigator is read-only in the administrative forms (available on Step 5 of the application). Only additional details can be edited here. To edit the name of the PI please save and close the form, and go back to Step 4 of the submission wizard and save the changes. By re-opening the form the data will be updated based on the Step 4 information. Please note that the e-mail provisions the access rights, therefore it cannot be changed. The name of the person can be edited at Step 4. Further details are available in the User Guide of the Submission system (PPSS).
Principal Investigator
Researcher ID If you have a researcher identifier number (e.g. Researcher ID, ORCID) please enter it here.
Last Name* [pre-filled from 'Contacts' at Step 4]
Last name as given on Passport or Identity Card.
Last Name at Birth Your last name at birth.
First Name(s)* [pre-filled from 'Contacts' at Step 4]
Your first name(s) as given on Passport or Identity Card.
Title Please choose one of the following: Prof., Dr., Mr., Mrs., Ms.
Gender* Female(F)/Male(M)
This information is required for statistical and mailing purposes. Indicate F or M as appropriate.
Nationality* [drop-down menu]
Please select one country.
Country of residence*
[drop-down menu]
Date of Birth*
(DD/MM/YYYY) Please specify your date of birth using the format (DD/MM/YYYY).
Country of Birth*
[drop-down menu]
Please select the country in which you were born.
Place of Birth* The town in which you were born. Insert the name of the town in English (please avoid
any district codes).
Contact Address
Current Organisation name Name under which your organisation is registered.
Current Department/Faculty/ Institute/Laboratory name
Name under which your department/faculty/institute/laboratory is registered.
Street The street name and number.
Town* The town, in English (please avoid any district codes).
Postcode/Cedex The postal code.
Country* [drop-down menu]
Please select one country.
Phone 1* Please insert the full phone number including country and city/area code. Example +32-2-2991111.
Phone2/Mobile Please insert the full mobile number including country and city/area code. Example +32-2-2991111. The mobile phone number is optional.
E-mail* pre-filled from 'Contacts' at Step 4.
Contact address of the host institution and contact person for the ERC.
The name and e-mail of the host institution contact persons is read-only in the administrative forms (available at Step 5 of the application); only additional details can be edited here. To give access rights and contact details of host institution, please add the details at Step 4 of the submission
wizard and save the changes. (See instructions above at the PI.) Please note that submission is blocked without a Main Contact Person and e-mail address for the host institution.
Organisation legal name
[pre-filled from 'Contacts' at Step 4]
First name(s)* [pre-filled from 'Contacts' at Step 4]
Last name* [pre-filled from 'Contacts' at Step 4]
E-mail* [pre-filled from 'Contacts' at Step 4]
Office/Section/ Department/Faculty/
name
The name under which the host department/faculty/institute/laboratory is registered.
Street The street name and number.
Town The town, in English (please avoid any district codes).
Postcode/Cedex The postal code.
Country [drop-down menu]
Please select one country.
Phone Please insert the full phone number including country and city/area code. Example +32-2-2991111.
Phone2/Mobile Please insert the full mobile number including country and city/area code. The mobile number is optional. .
Other Contact Persons with access rights (full or read only) First name(s) [pre-filled from 'Contacts' at Step 4]
Last name [pre-filled from 'Contacts' at Step 4]
E-mail [pre-filled from 'Contacts' at Step 4]
Phone Editable. Please insert the full phone number including country and city/area code.
Example +32-2-2991111.
3 – Budget (notes for information only)
Financial information (in euros) – whole duration of the project
Please ensure that all costs are given in whole Euros (integer), not thousands of Euros. Please ensure that the figures in this table match the total eligible costs and requested EU grant in Part B2 (section c, resources), where needed including the 25% indirect costs.
Participant Number in this
proposal The PI’s host institution of the proposal is automatically number one. Organisation short name [pre-filled]
Organisation country [pre-filled]
Total Eligible Costs The sum of direct costs (personnel and others), indirect costs of 25% and subcontracting.
4 – Ethics (notes for information only)
In H2020 the completion of a general Ethics table has become compulsory and part of the online administrative forms. The PI must indicate any ethics issue in this section 4 together with a proposal page number (referring to Part B2). To correctly identify and deal with any ethics issues related to your proposal - please refer to Annex 4 to this document. Annex 4 also gives guidance on how to write the ethics self-assessment and indicates which supporting documentation, if any, will be needed for the Ethics Review procedure.
Areas excluded from funding under Horizon 2020 (Art. 19.3 of the H2020 Framework Programme) (i) Research activity aiming at human cloning for reproductive purposes;
(ii) Research activity intended to modify the genetic heritage of human beings which could make such changes heritable (Research relating to cancer treatment of the gonads can be financed); (iii) Research activities intended to create human embryos solely for the purpose of research or for the purpose of stem cell procurement, including by means of somatic cell nuclear transfer.
All Horizon 2020 funded research shall comply with the relevant national, EU and international ethics related rules and professional codes of conduct. Where necessary, the beneficiary(ies) shall provide the ERCEA with a written confirmation that it has received (a) favourable opinion(s) of the relevant ethics committee(s) and, if applicable, the regulatory approval(s) of the competent national or local authority(ies) in the country in which the research is to be carried out. The copy of the official approval from the relevant national or local ethics committees must also be provided to the ERCEA.
Ethics Issues (extended table available in Annex 4)
I confirm that I have taken into account all ethics issues described above and that if any ethics issues apply, I will complete the ethics self-assessment and attach the required documents.
[Tick box] - The Ethics Issues Table has to be completed
even if there are no issues (simply confirm that none of the ethics issues apply to the proposal).
If any of the ethics issues indicated in the Ethics Issues Table apply to your proposal, you must provide an ethics self-assessment following the instruction in Annex 4. For indication of additional supporting documentation needed, please see the extended table of ethics issues in Annex 4.
5 – Call specific questions (notes for information only)
Academic Training Are you a medical doctor or do you hold a degree in
medicine? Please note that if you have also been awarded a PhD, your medical degree may be your first eligible degree.
[Yes/No]
If you answered yes to the question above, have you also held a position that requires doctoral equivalence (e.g. post-doctoral fellowship, professorship appointment)? For medical doctors, a medical degree will not be accepted by itself as equivalent to a PhD.
[Yes/No] – Please upload supporting documentation for any position that requires doctoral equivalence
Date of earliest award (PhD or equivalent) – DD/MM/YYYY*
Please specify the date of award of the earliest degree (PhD or equivalent doctoral degree) that makes you eligible for the ERC Starting/Consolidator Grant.
For medical doctors, this may be your medical degree or your PhD - depending on whether you have held a position requiring doctoral equivalence and when. In these cases, the certified date of the MD completion
plus two years is the time reference for calculation of the
eligibility time-window (i.e. 4-9 years past MD for Starters, and over 9-14 years past MD for Consolidators). For the Starting Grant the Principal Investigator shall have been awarded his/her first PhD at least 2 and up to
7 years prior to 1 January 2016 for proposals of the ERC
Starting Grant. For the Consolidator Grant the Principal Investigator shall have been awarded his/her first PhD over 7 and up to 12 years prior to 1 January 2016 for proposals of the ERC Consolidator Grant.
[Date] - The date should correspond to the date on the actual original certificate. For more information on equivalent doctoral degrees, please see Annex 3 to this document.
Wrong or missing information may result in your proposal being declared ineligible.
With respect to the earliest award (PhD or equivalent), I request an extension of the eligibility window, (indicate number of days) [see the ERC Work Programme 2016].
The effective elapsed time since the award of the first PhD can be reduced in the following properly
documented circumstances where they apply to the
Principal Investigator.
For maternity, the effective elapsed time since the award of the first PhD will be considered reduced by 18 months for each child born before or after the PhD award. For
paternity, the effective elapsed time since the award of
the first PhD will be considered reduced by the actual amount of paternity leave taken for each child born before or after the PhD award.
For long-term illness (over ninety days), clinical training or national service the effective elapsed time since the award of the first PhD will be considered reduced by the actual amount of leave taken for each incident which occurred after the PhD award.
[Yes/No]
Please indicate in this box the reason(s) for requesting an extension (max. 100 characters): Please note that corresponding certificates/documentation have to be uploaded
Please indicate (max. 100 characters) the main reason(s) - as established in the ERC Work Programme 2016 - justifying your request for the extension of the eligibility window. Please attach all necessary supporting documents.
[no of days] - In case you wish to request an extension to your eligibility window – please indicate the number of
Eligibility I acknowledge that I am aware of the eligibility requirements for applying for this ERC call as specified in the ERC Work Programme 2016, and certify that, to the best of my knowledge my application is in compliance with all these requirements. I understand that my proposal may be declared ineligible at any point during the evaluation or granting process if it is found not to be compliant with these eligibility criteria.*
[Yes] - Please confirm that you are eligible according to all requirements established in the ERC Work Programme 2016 – please pay particular attention to the section 'Restrictions on submission of proposals'.
Data-Related Questions and Data Protection
Consent to any question below is entirely voluntary. A positive or negative answer will not affect the evaluation of your project proposal in any form and will not be communicated to the evaluators of your project For communication purposes only, the ERC asks for your
permission to publish your name, the proposal title, the proposal acronym, the panel, and host institution, should your proposal be retained for funding.
[Yes/No]
Some national and regional public research funding authorities run schemes to fund ERC applicants that score highly in the ERC's evaluation but which cannot be funded by the ERC due to its limited budget. In case your proposal could not be selected for funding by the ERC do you consent to allow the ERC to disclose the results of your evaluation (score and ranking range) together with your name, non-confidential proposal title and abstract, proposal acronym, host institution and your contact details to such authorities?
[Yes/No]
The ERC is sometimes contacted for lists of ERC funded researchers by institutions that are awarding prizes to excellent researchers. Do you consent to allow the ERC to disclose your name, non-confidential proposal title and abstract, proposal acronym, host institution and your contact details to such institutions?
[Yes/No]
The Scientific Council of the ERC has developed a monitoring and evaluation strategy in order to help it fulfil its obligations to establish the ERC's overall strategy and to monitor and quality control the programme's implementation from the scientific perspective. As provided by section 3.10 of the ERC Rules for Submission, a range of projects and studies may be initiated for purposes related to monitoring, study and evaluating the implementation of ERC actions. Do you consent to allow the third parties carrying out these projects and studies to process the content of your proposal including your personal data and the respective evaluation data? The privacy statement on grants24 explains further how your personal data is secured.
[Yes/No]
24
The Specific Privacy Statement on the protection of personal data related to the 'ERC-Proposals Evaluation, Grants Management and Follow-up' is available on the ERC website.
Exclusion of independent experts at the request of an applicant
As established in section 3.3 of the ERC Rules for Submission, applicants submitting proposals may request that up to three specific persons would not act as peer reviewers in the evaluation of their proposal. Such a request is done at the time of proposal submission in the online administrative forms section 5 'Excluded Reviewers'. If the person(s) identified is an independent expert participating in the ERC Starting or Consolidator Grant 2016 evaluation, he/she may be excluded from the evaluation of the proposal as long as ERCEA remains in the position to have the proposal evaluated. Applicants need to provide the following data about the persons which they intend to exclude from the evaluation:
- Name of the expert(s);
- Institution/employer, Town and Country; - Web page.
First Name Last Name Institution Town Country Webpage
Please use the 'Add' button to fill information on each identified expert. By clicking the 'Remove' button you may delete the expert again.
Such a request will be treated confidentially by the authorised staff of ERCEA. If the excluded expert is a member of a panel he/she will be informed about the request concerning him/her. Please note that the request for exclusion is accepted by ERCEA as long as the proposal can still be evaluated by other reviewers having the necessary expertise. Additionally, in application of the existing regulation25 on data protection, an excluded expert may be granted access to all data linked to his/her exclusion.
The names of the excluded experts may be provided to the Panel Chair and/or members of the relevant panel(s). Please note that all fields, excluding the webpage, have to be properly completed for the request to be considered.
Open Research Data Pilot in Horizon 2020
If selected, all applicants have the possibility to participate on a voluntary basis in the Pilot on Open Research Data in Horizon 202026, which aims to improve and maximise access to and re-use of research data generated by actions. The Pilot participants must take measures to ensure open access to research data generated in the action, and applicants considering opting in should check the details of the contractual obligations that will apply27. Participating in the Pilot does not necessarily mean opening up all research data. Actions participating in the Pilot will be invited to formulate a Data Management Plan in which they will determine and explain which of the research data they generate will be made open. The grantees who participate in the Open Research Data Pilot may opt out at any stage. By opting out, beneficiaries free themselves from any obligations regarding the digital research data generated in the action.
Participation in this Pilot does not constitute part of the evaluation process. Proposals will not be evaluated favourably because they are part of the Pilot and will not be penalised for not participating.
We wish to participate in the Pilot on Open Research Data in Horizon 2020 on a voluntary basis
[Yes/No]
25
Reform of data protection legislation: http://ec.europa.eu/justice/data-protection/ 26
According to article 43.2 of Regulation (EU) No 1290/2013 of the European Parliament and of the Council, of
11 December 2013, laying down the rules for participation and dissemination in 'Horizon 2020 - the Framework Programme for Research and Innovation (2014-2020)' and repealing Regulation (EC) No 1906/2006.27
H2020 ERC Model Grant Agreement - Article 29.3 'Open access to research data'
1.1.2.2
Instructions for completing 'Part B' of the proposal
The research proposal (Part B) consists of two parts: Part B1 (including cover page, sections a, b, and c) and Part B2 (including sections a, b, and c). The templates for these two parts are provided in PPSS and their use is mandatory. The electronic upload of the research proposal Parts B1 and B2 is done at Step 5 'Edit Proposal' and submitted via PPSS – see point 1.1.3 of this document.
IMPORTANT NOTICE: Please be aware that at step 1 of the evaluation only Part B1 is evaluated by the panel members, while at step 2 both Parts B1 and B2 are evaluated.
When drafting Part B1, PIs should pay particular attention to the extended synopsis (section a) and should not consider it as simply complementing Part B2. It is important that the extended synopsis contains all essential information including the feasibility of the scientific proposal since the panel will only evaluate Part B1 at step 1.
Please note that at step 1 the panel has no access to Part B2.
The information to be included in each of the sections as well as the maximum length of each section or its sub-sections, which needs to be respected strictly, is described below.
In fairness to all applicants, the page limits below will be applied strictly. Only the material that is presented within these limits will be evaluated (peer reviewers will only be asked to read the material presented within the page limits, and will be under no obligation to read beyond them). Each proposal page shall carry a header presenting the PI's last name, the acronym of the proposal, and the reference to the respective proposal section (Part B1 or Part B2).
The following parameters shall be respected for the layout:
Page Format Font Type Font Size Line Spacing Margins
A4 Times New Roman
Arial or similar
At least 11 Single 2 cm side 1.5 bottom
Part B1 – Cover page:
Please use the online template provided in the Participant Portal Submission Page for the call. Name of the Principal Investigator (PI)
Name of the PI's host institution for the project Proposal full title
Proposal short name
Proposal duration in months
Proposal abstract (half page, must be a copy/paste of abstract from the administrative form section 1)
For inter-disciplinary/cross-panel proposals: please indicate the additional ERC review panel(s) and explain why the proposal needs to be considered by more than one panel.
Part B1 Sections a, b and c: The Research Proposal
a. Extended Synopsis of the scientific proposal (max. 5 pages)
The Extended Synopsis should give a concise presentation of the scientific proposal, with particular attention to the ground-breaking nature of the research project and the feasibility of the outlined
scientific approach. Describe the proposed work in the context of the state of the art of the field. References to literature should also be included. References do not count towards the page limits. It is important that this extended synopsis contains all essential information including the feasibility of the scientific proposal since the panel will only evaluate Part B1 at step 1.
The Principal Investigator
b. Curriculum Vitae (max. 2 pages):
The CV should include the standard academic and research record. A suggested outline is available in the Part B1 downloadable template. The structure of the CV may be modified. Any research career gaps and/or unconventional paths should be clearly explained so that they can be fairly assessed by the evaluation panels.
The succinct 'funding ID' which must specify any current research grants and their subject, and any on-going application for work related to the proposal must follow the table format indicated in the Part B1 template. The funding ID will not count towards the page limits and needs to be completed with the following information for on-going grants and applications:
Project Title, Funding source, Amount, Period, Role of the PI, Relation to ERC project c. Early achievements track-record28 (max. 2 pages):
The Principal Investigator (PI) must provide a list of achievements reflecting their track record. The PI should list his/her activity as regards (if applicable):
1. Publications (up to five for Starting Grant and up to ten for Consolidator Grant) in major international peer-reviewed multi-disciplinary scientific journals and/or in the leading international peer-reviewed journals, peer-reviewed conferences proceedings and/or monographs of their respective research fields, highlighting those without the presence as co-author of their PhD supervisor, and the number of citations (excluding self-citations) they have attracted;
2. Research monographs and any translations thereof; 3. Granted patent(s);
4. Invited presentations to peer-reviewed, internationally established conferences and/or international advanced schools;
5. Prizes/Awards/Academy memberships. Part B2 Sections a, b, and c:
The scientific proposal (max. 15 pages)
This part is evaluated only in step 2 of the peer review evaluation.
Please use the Word-template provided online in the Participant Portal Submission Page for the call. References do not count towards the page limit.
The scientific, technical, and/or scholarly aspects of the project should be described more in detail demonstrating the ground-breaking nature of the research, its potential impact and research methodology. The fraction of the applicant's research effort that will be devoted to this project and a full estimation of the real project costs also need to be indicated.
28
As described in the ERC Work Programme 2016 section on the profiles of the ERC Starting and Consolidator Grant Principal Investigator.
a. State of the art and objectives: Specify clearly the objectives of the proposal, in the context of the state of the art in the field. When describing the envisaged research it should be indicated how and why the proposed work is important for the field, and what impact it will have if successful, such as how it may open up new horizons or opportunities for science, technology or scholarship. Specify any particularly challenging or unconventional aspects of the proposal, including multi- or inter-disciplinary aspects.
b. Methodology
Describe the proposed methodology in detail including, as appropriate, key intermediate goals. Explain and justify the methodology in relation to the state of the art, including any particularly novel or unconventional aspects addressing 'high-risk/high-gain' balance. Highlight any intermediate stages where results may require adjustments to the project planning. In case it is proposed that team members engaged by another host institution participate in the project, their participation has to be fully justified. This should be done emphasising the scientific added value they bring to the project. c. Resources (incl. project costs)
It is strongly recommended to use the budget table template included in Part B2 to facilitate the assessment of resources by the panels. (See Box 3 and 4 for guidance on eligible and non-eligible direct and indirect costs as well as the different cost categories) 29. Please use whole Euro integers only when preparing the budget table.
State the amount of funding considered necessary to fulfil the objectives for the duration of the project. The resources requested should be reasonable and fully justified in the proposal. The requested grant should be in proportion to the actual needs to fulfil the objectives of the project. Specify briefly your commitment to the project and how much time you are willing to devote to the proposed project. Please note that for Starting Grants you are expected to devote at least 50% of your total working time to the ERC-funded project and spend at least 50% of your total working time in an EU Member State or Associated Country. For Consolidator Grants you are expected to devote at least 40% of your total working time to the ERC-funded project and spend at least 50% of your total working time in an EU Member State or Associated Country (see the ERC Work Programme 2016). Describe the size and nature of the team, indicating, where appropriate, the key team members and their roles. The participation of team members engaged by another host institution should be justified in relation to the additional financial cost this may impose to the project. Take into account the percentage of your dedicated time to run the ERC funded activity when calculating your personnel costs.
Specify any existing resources that will contribute to the project. Describe other necessary resources, such as infrastructure and equipment. It is advisable to include a short technical description of the equipment requested, a justification of its need as well as the intensity of its planned use. When estimating the costs for travel, please also consider participation of the PI and team members in conferences and dissemination events.
The terms and conditions laid down in the ERC Model Grant Agreement address how scientific publications must be made available through Open Access. Applicants should be aware that it will be mandatory to provide Open Access (free of charge, online access for any user) to all peer-reviewed
29
Applicants should pay special attention to the new cost category 'Direct costing for Large Research Infrastructures'. This new cost category will only be applicable for PIs who are hosted by institutions with Large Research Infrastructures of a value of at least EUR 20 million and only after having received a positive ex-ante assessment from the Commission's services. This new cost category should only be used for costs to access large research infrastructures inside the premises of and owned by the participating organisations. Please refer to the ERC Annotated Model Grant Agreement, pgs. 83 to 93.
